Regulatory Actions

ANGEL FERNANDO COLLAZO NFA ID: 0292355

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm. Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.

Contributor Case # Action Type Effective Date Case Outcome NFA 09BCC00044 • SALES PRACTICE • GENERAL CONDUCT 02/18/2010 • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP • PERMANENT BAR FROM PRINCIPAL STATUS • PERMANENT BAR FROM NFA MEMBERSHIP CFTC 12-CV-01083 • CFTC INJUNCTIVE ACTION 02/13/2013 • OTHER (SEE NARRATIVE) • FINE $750000 • MAY NOT APPLY TO REGISTER • MAY NOT OPERATE AS PRINCIPAL • JOINT OWED • MAKE RESTITUTION TO CUSTMERS • TRADING PROHIBITION • STOP SOLICITING • PERMANENT INJUNCTION CFTC 11-CV-01419 • CFTC INJUNCTIVE ACTION 03/23/2012 • PERMANENT INJUNCTION • MAKE RESTITUTION TO CUSTMERS • MAY NOT APPLY TO REGISTER • STOP SOLICITING • OTHER (SEE NARRATIVE) • DISGORGEMENT $555590 • FINE $1666770 • TRADING PROHIBITION • MAY NOT OPERATE AS PRINCIPAL • JOINT OWED